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Chief Compliance Officer, GAM US

L8

american statistical association asaNew York, NYyesterday

Occupations

Compliance ManagersCompliance OfficersRegulatory Affairs Managers

Industries

Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment Activities
Leadership Role In Regulatory Compliance In this leadership role you will own the RIA's regulatory compliance program, ensuring alignment with SEC rules and fiduciary obligations. You will lead cross-functional efforts to implement policies, controls, and governance for investment advisory activities and fund launches. You'll serve as the designated CCO, oversee regulatory risk assessments, monitoring, and reporting, and partner with Legal, Risk, and business teams to meet regulatory obligations. The role offers impact through shaping the compliance framework within a large financial institution and supporting strategic product initiatives. Compensation / Benefits Health insurance Tuition reimbursement Accident and life insurance Retirement savings plans Potential bonuses/performance-based incentives
Responsibilities:
  • Lead the development, implementation, and ongoing administration of the RIA regulatory compliance program
  • Oversee SEC registration workstream, including Form ADV preparation and regulatory disclosures
  • Administer compliance policies, controls, and governance with annual reviews and regulatory reporting
  • Provide regulatory advisory support for investment advisory activities and fund launches
  • Coordinate risk assessments, monitoring, testing, surveillance, and issue remediation
  • Maintain relationships with regulators and coordinate responses to examinations and inquiries
  • Advise senior management on regulatory developments and risk appetite, aligning with business objectives
  • Promote three lines of defense and integrate compliance within enterprise governance frameworks
Key requirements:
  • Typically 10+ years of relevant experience in U.S. investment management regulatory compliance
  • Experience with SEC-registered investment advisers and Investment Advisers Act/Investment Company Act knowledge
  • Prior experience as CCO, Deputy CCO, or senior compliance leader preferred
  • Experience with Form ADV preparation, regulatory reporting, and governance processes
  • Knowledge of fiduciary duties, conflicts of interest, marketing, personal trading, and recordkeeping
  • Ability to manage compliance programs within a large financial institution's governance framework
  • Advanced communication, analytical, and relationship management skills
  • Industry certifications such as IACCP preferred
  • Strong communication
  • Relationship management
  • Project management
  • Regulatory risk assessment, monitoring, and testingSEC rules and guidance knowledge (Investment Advisers Act, Investment Company Act, Securities Act)
  • Form ADV preparation and regulatory documentation
Apply now (opens in a new tab)
Apply now (opens in a new tab)

Level

DirectorL8

Location

New York, NY

Occupation

Compliance Managers

Industry

Portfolio Management and Investment Advice

Posted

yesterday

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